UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS

________________________________________________ ) SECURITIES AND EXCHANGE COMMISSION, ) ) Miscellaneous Business Applicant, ) Docket No. ) v. ) ) CARLOS R. GARZA, ) Respondent. ) ________________________________________________)

APPLICATION FOR ORDER TO SHOW CAUSE AND FOR ORDER TO COMPLY WITH ADMINISTRATIVE SUPBOENA

Respondent Carlos R. Garza (“Garza”) has refused to comply with an

administrative subpoena seeking testimony issued by the staff of the Securities and

Exchange Commission (the “Commission”) in connection with the Commission’s formal

investigation, In the Matter of GAW Miners, LLC, File No. B-02979. The Commission

subpoenaed Garza to testify on Wednesday, August 12, 2015. Garza appeared for

testimony but refused to answer any questions. Garza also failed to produce any

documents requested in the subpoena, including a document he had earlier represented

that he would produce. The Commission therefore respectfully submits this Application

for the Court to issue: (1) an Order to Show Cause why Garza should not comply with the

administrative subpoena directing him to testify before, and produce documents to, the

Commission staff; and (2) an Order compelling Garza to appear for testimony in the

Commission’s Boston Regional Office and to produce all non-privileged documents in

his possession, custody or control responsive to the Commission’s subpoena.

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In support of this Application, the SEC relies on the Memorandum of Law filed

herewith, as well as the Declarations of Gretchen Lundgren and Kathleen Shields and

their attached Exhibits.

Respectfully submitted,

//s//Kathleen Burdette Shields Kathleen Burdette Shields (BBO# 637438) Gretchen Lundgren (BBO#644742) U.S. SECURITIES AND EXCHANGE COMMISSION 33 Arch Street Boston, Massachusetts 02110-1424 Phone: (617) 573-8904 (Shields) (617) 573-4578 (Lundgren) Shieldska@sec.gov, Lundgreng@sec.gov Counsel for Applicant Securities and Exchange Commission

Dated: August 14, 2015

Certificate of Service

I, Kathleen Burdette Shields, hereby certify that on August 14, 2015, I caused a true copy of the foregoing document to be served via overnight mail upon the following persons: Carlos R. Garza 136 Hillcrest Terrace Brattleboro, VT 05301 //s//Kathleen Burdette Shields Kathleen Burdette Shields

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